FINRA已与自1995年以来的成员Interactive Brokers就与客户现金账户搭便车相关的违规指控达成和解。作为决议的一部分，该公司接受了接受、放弃和同意信（AWC），但没有承认或否认调查结果。

从2015年10月到2022年12月，盈透证券未能发现超过420万起期权和已发行期权交易中搭便车的情况。当证券在未全额付款的情况下买卖时，就会出现搭便车，违反了美联储T号法规以及FINRA规则4210和2010。

对搭便车检测的审查

FINRA确定该公司的自动监控系统没有检测到期权中的搭便车行为。因此，没有对从事此类活动的账户实施所需的冻结。

The investigation also highlighted deficiencies in the firm’s supervisory systems and written supervisory procedures (WSPs). According to FINRA, these systems lacked measures to ensure compliance Compliance In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a Read this Term with regulations designed to prevent free-riding.

互动证券以225万美元罚款和解

盈透证券同意谴责并处以225万美元罚款。此后，该公司更新了其监控系统和WSP，以解决已发现的缺陷。

This settlement Settlement Settlement in finance refers to the process when a buyer makes payment and receives the agreed-upon services or goods. The term is used on exchanges such as New York Stock Exchange (NYSE) when security changes hands. When the asset is transferred and placed in the new buyer's name, it is considered settled. This process could take a few hours or several days after a trade is made. It depends on the clearance process. In the United States, the settlement date for marketable stocks is usually 2 Settlement in finance refers to the process when a buyer makes payment and receives the agreed-upon services or goods. The term is used on exchanges such as New York Stock Exchange (NYSE) when security changes hands. When the asset is transferred and placed in the new buyer's name, it is considered settled. This process could take a few hours or several days after a trade is made. It depends on the clearance process. In the United States, the settlement date for marketable stocks is usually 2 Read this Term concludes the matter. The firm has waived its right to further procedural steps, and FINRA will include the disciplinary action in its public records. Finance Magnates reached out to Interactive Brokers for comment on this development. At the time of writing, the firm has yet to provide a response.

TastyTrade因监管失误被罚款3万美元

此前，FINRA对零售交易平台、IG Group美国子公司TastyTrade处以3万美元罚款，原因是其在2021年7月至2023年6月期间未能对其员工的外部证券账户进行适当监管。据Finance Magnates报道，该公司据称未能对属于35名员工的84个外部证券账户保持足够的监督。

调查显示，员工交易活动的审查出现延误，25个账户直到2021年第四季度才被检查。值得注意的是，直到2023年6月FINRA进行了周期检查，有14个账户没有得到审查。FINRA还发现TastyTrade跟踪强制审查的书面监督程序存在缺陷。

FINRA已与自1995年以来的成员Interactive Brokers就与客户现金账户搭便车相关的违规指控达成和解。作为决议的一部分，该公司接受了接受、放弃和同意信（AWC），但没有承认或否认调查结果。

从2015年10月到2022年12月，盈透证券未能发现超过420万起期权和已发行期权交易中搭便车的情况。当证券在未全额付款的情况下买卖时，就会出现搭便车，违反了美联储T号法规以及FINRA规则4210和2010。

对搭便车检测的审查

FINRA确定该公司的自动监控系统没有检测到期权中的搭便车行为。因此，没有对从事此类活动的账户实施所需的冻结。

The investigation also highlighted deficiencies in the firm’s supervisory systems and written supervisory procedures (WSPs). According to FINRA, these systems lacked measures to ensure compliance Compliance In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a Read this Term with regulations designed to prevent free-riding.

互动证券以225万美元罚款和解

盈透证券同意谴责并处以225万美元罚款。此后，该公司更新了其监控系统和WSP，以解决已发现的缺陷。

This settlement Settlement Settlement in finance refers to the process when a buyer makes payment and receives the agreed-upon services or goods. The term is used on exchanges such as New York Stock Exchange (NYSE) when security changes hands. When the asset is transferred and placed in the new buyer's name, it is considered settled. This process could take a few hours or several days after a trade is made. It depends on the clearance process. In the United States, the settlement date for marketable stocks is usually 2 Settlement in finance refers to the process when a buyer makes payment and receives the agreed-upon services or goods. The term is used on exchanges such as New York Stock Exchange (NYSE) when security changes hands. When the asset is transferred and placed in the new buyer's name, it is considered settled. This process could take a few hours or several days after a trade is made. It depends on the clearance process. In the United States, the settlement date for marketable stocks is usually 2 Read this Term concludes the matter. The firm has waived its right to further procedural steps, and FINRA will include the disciplinary action in its public records. Finance Magnates reached out to Interactive Brokers for comment on this development. At the time of writing, the firm has yet to provide a response.

TastyTrade因监管失误被罚款3万美元

此前，FINRA对零售交易平台、IG Group美国子公司TastyTrade处以3万美元罚款，原因是其在2021年7月至2023年6月期间未能对其员工的外部证券账户进行适当监管。据Finance Magnates报道，该公司据称未能对属于35名员工的84个外部证券账户保持足够的监督。

调查显示，员工交易活动的审查出现延误，25个账户直到2021年第四季度才被检查。值得注意的是，直到2023年6月FINRA进行了周期检查，有14个账户没有得到审查。FINRA还发现TastyTrade跟踪强制审查的书面监督程序存在缺陷。